2024081402501 Rod C. Dayton CRD 729831 AWC lp (2024-1720052413411).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081402501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Rod C. Dayton (Respondent) General Securities Representative CRD No. 729831 Pursuant to FINRA Rule 9216, Respondent Rod C. Dayton submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Financial Professional or Artificial Intelligence? FINRA Foundation Report Examines Which of These Consumers Trust More

WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) has released a new report, The machines are coming (with personal finance information). Do we trust them?

Despite the growing popularity of artificial intelligence (AI), very few consumers knowingly turn to AI for information on personal finances, according to the report.

2024081405401 James Pruitt, II CRD 5808107 AWC vr (2024-1720052412912).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081405401 TO: Depa1iment of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Pruitt, II (Respondent) General Securities Representative CRD No. 5808107 Pursuant to FINRA Rule 9216, Respondent James Pruitt, II submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
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